Compliance Officer

We are hiring for an compliance officer on urgent basis whom having sound knowledge and experience in stock marketing.

Roles and Responsibilities :

- Regulatory inspections of commodity & Stock market, person should be well versed with internal audits, DP audits, special and Spot inspections, verification of data sub-mitted by all depts., Coordination and Exchange submission, sending suitable reply to the regulatory authorities.

- Assisting to internal auditors for conducting internal audits of all exchanges on a regular and Periodic basis.

- Aware of recent circular issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE & MCX. Also, shall be aware of circular and regulation issued by CDSL.

- Ensure timeliness as per compliance calendar and adhered to various deadlines by regulators, Stock Exchanges and Depository.

- Shall be able to understand legal agreements

- Monitoring compliance of KYC and AML & PMLA guidelines followed in opening of account by operations team and also Heading KYC.

- Ensuring proper analysis of alerts received from CDSL and exchanges and closing the same with proper justification.

- Reporting of Suspicious transaction to FIU/CDSL/Stock exchanges & - Follow-ups with the exchanges to obtain the necessary approvals

- Well versed with handling all types of compliance issue (Monthly, Quarterly, Half Year and Yearly) and Exchange Inspection.

- Keep up-to date with new Exchanges/SEBI circulars and implement the same